Documenti di Didattica
Documenti di Professioni
Documenti di Cultura
The Enterprise Architecture Maturity Model and the Enterprise Architecture Project are funded by a grant from the Bureau of Justice Assistance, Office of Justice Programs. The opinions, findings, conclusions, and recommendations contained in this publication are those of NASCIO, and do not necessarily reflect the official positions or policies of the Department of Justice.
About NASCIO NASCIO represents the state chief information officers from the 50 states, six U.S. territories and the District of Columbia. Members include cabinet and senior level state officials responsible for information resource management. Other IT officials participate as associate members and private sector representatives may become corporate members. Association Management Resources, Inc. (AMR) provides NASCIOs executive staff. Copyright National Association of State Chief Information Officers (NASCIO), December 2003. All rights reserved. This work cannot be published or otherwise distributed without the express written permission of NASCIO.
ii
TABLE OF CONTENTS
ACKNOWLEDGEMENTS ........................................................................................................................ IV EA MATURITY MODEL ............................................................................................................................ 1 Introduction ............................................................................................................................................ 1 Background ............................................................................................................................................ 4 Maturity Model for Enterprise Architecture........................................................................................... 6 EA LEVEL 0 - No Program............................................................................................................. 7 EA LEVEL 1 - Informal Program ................................................................................................... 8 EA LEVEL 2 - Repeatable Program................................................................................................ 9 EA LEVEL 3 - Well-Defined Program.......................................................................................... 10 EA LEVEL 4 - Managed Program................................................................................................. 11 EA LEVEL 5 - Continuously Improving Vital Program ............................................................... 12 Summary .............................................................................................................................................. 14 Reference Material ............................................................................................................................... 15 CONTRIBUTORS...................................................................................................................................... 16 Architecture Working Group Contributors .......................................................................................... 16 Architecture Working Group Consultants............................................................................................ 16 NASCIO Staff ...................................................................................................................................... 16 NASCIO Headquarters......................................................................................................................... 16
iii
ACKNOWLEDGEMENTS
The NASCIO Enterprise Architecture Maturity Model was the result of contributions from NASCIO members and partners. NASCIO wishes to extend its appreciation to the members of the Architecture Working Group, Implementation Subcommittee. Particular recognition is given to John Carey Brown from the state of Kansas, and Judi Wood and Christine Schiller from the state of Maryland. We also wish to thank Gerry Wethington, CIO of the state of Missouri and chairperson of NASCIOs Enterprise Architecture Working Group, and Doug Robinson, Executive Director, Office of the CIO for the state of Kentucky and vice chairperson of NASCIOs Enterprise Architecture Working Group for their insight and dedication during this process. This project would not have been possible without the support of the U.S. Department of Justices Office of Justice Programs and was funded by grant award #98-DD-BX-0067 from the Bureau of Justice Assistance. For more information about the validation effort, please see https://www.nascio.org/publications/index.cfm where a report on the validation effort can be ordered and downloaded.
iv
EA MATURITY MODEL
Introduction
Adaptive enterprise architecture consists of characteristics necessary to support the information technology infrastructure of an organization. The infrastructure exists to support the business operation of the organization. An adaptive, dynamic enterprise architecture enables the enterprise to change and manage the complexities inherent in large government enterprise. The NASCIO Enterprise Architecture Maturity Model provides a path for architecture and procedural improvements within an organization. As the architecture matures, predictability, process controls and effectiveness also increase. For definitions of terms used in this document please refer to the lexicon found in Appendix A of the NASCIO Adaptive Enterprise Architecture Tool-Kit. Development of the Enterprise Architecture Framework is critical because it provides the rules and definition necessary for the integration of information and services at the design level across agency boundaries. The framework combines business and environment processes and representations to allow planning and development of a blueprint. The Enterprise Architecture Blueprint is the collection of the actual standards and specifications that define what the Business and IT Portfolios are and how they may be built. The Blueprint contains the details that are essential for allowing data to flow from agency to agency, just as water flows through the pipes and electricity flows through the wiring of a well planned home. Development of the Enterprise Architecture is an ongoing process and cannot be delivered overnight. An organization must patiently work to nurture and improve upon its Enterprise Architecture Program until architectural processes and standards become second nature and the Architecture Framework and the Architecture Blueprint become self-renewing. Whatever the current stage of the organizations enterprise architecture program, each activity undertaken also has its own lifecycle. Without continuous monitoring of the driving business and technology factors, any Enterprise Architecture Blueprint can soon become obsolete. Just as individual product and compliance components contained in the Blueprint need to go through the cyclic process of Documentation, Review, Compliance, Communication, and Vitality, the high-level Enterprise Architecture Framework and procedures must be reviewed and updated to properly reflect environmental changes.
Three high-level components to the Enterprise Architecture Framework were defined in the Enterprise Architecture Development Tool-Kit V2.0. Together they provide the rules and form factors to create the blueprint for the integration of information and services. Each component contains a number of elements which must be factored individually, addressed on its own merit, and may be at a different maturity level at any given point in time. The high level components are: Architecture Governance includes the leadership, organizational structures, direction, and processes needed to ensure Information Technology (IT) enables the enterprises mission, goals, objectives and strategies in a planned manner. The purpose of architecture governance is to direct or guide architecture initiatives, ensure that organizational performance aligns with the strategic intent of the business, ensure IT resources are used responsibly and Technology Architecture-related risks are managed appropriately. Business Architecture identifies and describes environmental drivers, and defines the mission, guiding principles, goals, objectives and strategies of the business. This strategic intent is executed through enabling capabilities that include information technology. Enterprise Architecture ensures appropriate traceability from business architecture to the other allied architectures. Technology Architecture provides the processes and templates to document products and compliance criteria used within the organization. The Technology Architecture includes the portions of the Enterprise Architecture Framework that will set direction for technology and migration of existing IT services. Enterprise Architecture ensures that technical solutions meet the business needs of the organization. Some of the individual components that must be considered at the Enterprise level, as well as in the various Architecture disciplines include components of the following: Architecture Planning ensures the program is managed to assure the goals for implementation are realistic and achievable and the program is kept within scope. Architecture Framework consists of the processes, templates and forms used by those documenting the operations and standards of the organization. Architecture Blueprint refers to the completed documents that are prepared using the Architecture Framework processes, templates and forms. The Blueprint refers to the documented products and standards, together with their detail, classifications, impact statements, and migration strategies. Communication is the element that ensures standards and processes are established and readily available to team members for reference and use. As an organization changes and programs evolve the continued communication ensures the EA program remains vital and operates optimally. Compliance must be reviewed periodically to be sure the business and IT programs and services are operating effectively. Integration addresses the ability of the various entities (internal or external to the organization) to coordinate their efforts to the greatest benefit of the organization. This is a key factor, as great efficiencies are gained by identifying similar functions or operations, both inside and outside of an organization. Involvement must be part of an EA Program. Without the support of managers and employees who are expected to utilize and follow the defined process, the program is sure to fail. The goal of NASCIOs Adaptive Enterprise Architecture Development Program is to create a set of tools to assist state and local government in the development of an enterprise architecture that facilitates information sharing among all functions and across all levels of state and local government. 2
NASCIO Enterprise Architecture Maturity Model
The original NASCIO Enterprise Architecture Development toolset, as published in 2001 consisted of an adaptive Enterprise Architecture Primer, which included the business case for architecture, guidance for architecture development, and samples from state and local government. It also consisted of a Governance Recommendations Report that provided the basic elements necessary for the Governance structure to support an adaptive enterprise architecture program. After a three-state validation process and workshops, which gathered comments from CIOs and IT architects from 22 states, NASCIO published its Adaptive Enterprise Architecture Tool-Kit Version 2.0. This publication covers the topics of Architecture Governance and Technology Architecture in greater detail, including the addition of roles and responsibilities for Governance, process models and detailed description of the architecture development lifecycle processes, detailed templates and additional samples. As NASCIO continues to work with representatives from the various states, the focus is the constant improvement of the information provided in the Tool-Kit as well as the provisioning of additional tools and programs for assisting state and local governments in their architecture development efforts. An essential part of enterprise architecture development is for the organizations to assess their current situation, and then set goals for the future. Identifying the maturity of EA Architecture program components formally allows the organization to benchmark the status of current programs and begin the process of improving their effectiveness, or kick off a new program. NASCIO has developed an Enterprise Architecture Maturity Model state and local governments can use as a tool to objectively review the status of their Enterprise Architecture program, assess the current maturity and provide direction to attain the next level. As an organizations architecture matures, the benefits to the entire enterprise increase.
Background
Over the past several years many organizations have developed capability maturity models designed to support process improvement in various areas such as: Software development Systems engineering Integrated product and process development Security
The Capability Maturity Model developed by Software Engineering Institute (SEI), which describes the evolution of software development processes, has been used by most of the organizations as the basis for maturity models in these various areas. The NASCIO Maturity Model for Enterprise Architecture is based on the same concept. The intent of this model is to supply a tool that can be used to benchmark the effectiveness of an Enterprise Architecture program. It also illustrates the natural progression of benefits that a supported and managed architecture program will contribute to an organization as it matures. The following advice comes from the State of Kansas concerning the development of Enterprise Architecture: Regardless of the architectural development level with which an organization starts, certain criteria should be considered in order for the end-product to be useful and accepted within the organization: Architectural principles must be derived from agency goals, objectives and written requirements. An architecture plan should guide individual agency information systems and technology infrastructure decisions. Senior Managers, legislators, technical project architects, designers, developers, etc. must understand architecture plans. The architecture should be developed within the enterprise-wide context of IT and technology benefits. The architecture should enable flexibility and nimbleness in reacting to new changes in IT, systems and data access. In general, architecture should: 4 Sell its vision to government leaders and IT management. Help align the use of technology with the strategic goals and objectives. Facilitate the communication of plans within a decentralized IT community. Help manage the increasing complexity of IT technologies. Facilitate bridging new and emerging IT to legacy architecture. Provide guidance in adapting the architecture that packaged solutions bring to the architectural vision. Be complete and consistent and provide guidance to application developers, IT managers, and endusers that need to plan, budget, implement and use information technology.
NASCIO Enterprise Architecture Maturity Model
Provide for easy access (less paper/fewer binders); be web enabled, easy to view, traverse and query. Provide a means to analyze how processes, tools, technology and people should interact to produce IT solutions that achieve both individual and combined goals. Architecture is an iterative process. It is important that the pieces are broken down into workable modules where the individual pieces can be reviewed and all understand where they fit and how they interact within the organization. This is not a project with an end-date. A vital successful program must be an on-going process. How often the individual and overall modules are reviewed and updated is the decision of each individual organization. The standard set within the NASCIO Enterprise Architecture Development Tool-Kit recommends the framework be reviewed any time business strategies or IT strategies make a noticeable shift. Enterprise Architectural Framework reviews should occur every one to two years at a minimum. Some individual modules may need to be reviewed as often as every six months. Some of the benefits that can be expected as an Enterprise Architecture progresses in it maturity are: Reduced software and data redundancy Enhanced enterprise information sharing Reduced information systems complexity Better alignment of business strategy and system development Greater reliability at implementations & updates Reduced dependency on key resources Improved accuracy in scheduling software development / implementation More accurate forecasting of development and support costs More efficient deployment of technology solutions Greater ability to set realistic goals Improved alignment of IT solutions with business strategy Increased traceability
The model follows the path of an organization as their enterprise architecture program matures, and sets benchmarks to measure the performance and path that is a natural progression in the development of enterprise architecture. The NASCIO Tool-Kit provides guidance for the development process. In the following sections, each of the levels of NASCIOs Enterprise Architecture Maturity Model is defined. Each level contains statements that are indicative of an EA Program at that level. These statements have been organized into the following Enterprise Architecture categories: Administration Governance Roles & Responsibilities Planning EA program road map and implementation plan Framework processes and templates used for Enterprise Architecture Blueprint collection of the actual standards and specifications Communication education and distribution of EA and Blueprint detail Compliance adherence to published standards, processes and other EA elements, and the processes to document and track variances from those standards Integration touch-points of management processes to the EA Involvement support of the EA Program throughout the organization
EA LEVEL 0 - NO PROGRAM
There is not a documented architectural framework in place at this level of maturity. While solutions are developed and implemented, this is done with no recognized standards or base practices. The organization is completely reliant on the knowledge of independent contributors. What to expect of an organization at this level Administration No Architecture Governance is in place Planning No plans for developing Enterprise Architecture are in place Framework Architecture processes and templates are not documented Blueprint IT technology standards are not documented Communication Senior Management and agencies are not aware of what enterprise architecture is or the benefits Compliance No compliance process exists within the organization. Integration No program in place for integration across the enterprise Involvement There is no program in place for Enterprise Architecture awareness Several independent groups or individuals typically work to solve a single issue
EA awareness efforts are informal and inconsistent Some groups are unsupportive of the efforts and may cause unrest in the organization
The various touch-points between the Management Processes and the EA Program Framework have been mapped (however, no details exist as to how the integration will work) Involvement The organization has begun to develop plans for EA educational sessions and materials to increase the awareness and understanding of the EA concepts and processes EA concepts are beginning to be introduced and more consistently discussed in normal day-to-day meetings
Blueprint Classification of existing technology standards is consistent Documentation of business drivers, and strategic information is consistent Communication The architecture is well defined and communicated Training is provided for Senior management and agencies regarding architecture and its benefits Training is provided for members of the EA committees Compliance A formal EA compliance process is well-defined and is an integral part of the EA lifecycle processes 10
NASCIO Enterprise Architecture Maturity Model
The EA Compliance process is followed consistently throughout the enterprise A Business Case is required for variance from the EA standards Integration EA Program is integrated with strategic planning and budgeting processes Touch-points of management processes to the EA are well-defined Involvement The organization begins to operate as a team, using the defined architecture program and standards Senior Management participate in various EA committees Business and technical staff participate in EA committees
11
The communication process is reviewed and changes are incorporated to improve the communication of architecture activity and detail. EA awareness training is incorporated into new employee orientation The organization captures metrics to measure the effectiveness of the EA Communication process Compliance Compliance to the EA standards has become common practice throughout the enterprise Quality metrics associated with the business cases are captured The compliance process is reviewed and updated when deficiencies or enhancements to the process are identified Integration Enterprise Architecture is used to guide development and acquisition The organization captures metrics to measure the savings in resources, including time and money Costs and benefits, including benefits across agency boundaries, are considered in identifying projects Integration procedures are reviewed and the process is updated when problems or new functionality is identified
Involvement Personnel throughout the organization have a good understanding of the architecture principals and participate in the EA processes as members of committees or as their projects, etc. have touch points with the architecture The organization captures metrics to measure the awareness, participation, acceptance and satisfaction with the EA Program
Framework The lifecycle processes are being followed and have become second-nature to the organization Captured metrics are used to identify inefficiencies in EA processes and templates prior to notification of issues Organization works with other states to share ideas for improvements to EA processes and templates. Blueprint Captured business and technology information is reviewed in conjunction with the monitoring of new technology and business trends to proactively identify technology that will improve business The organization works with other states to share information regarding business and technology trends Communication Metrics are used to proactively identify opportunities for improved communication avenues The organization works with other states to share ideas for improvements to the communications processes Compliance Information gathered during the compliance process is used to proactively identify updates to the EA standards and/or framework Architecture metrics are used to drive continuous process improvements in the Business Cases The organization works with other states to share ideas for improvements to the compliance process Integration The Enterprise Architecture process drives continual reinvention throughout the enterprise Business influences Technology and Technology influences Business Captured metrics are used to proactively identify improvements to the EA framework or blueprint information and/or integration processes. Organization works with other states to share ideas for improved integration, including procurement and project management practices Involvement Agencies and departments work together as contributors to the architecture and its processes The organization uses the captured metrics to proactively create action plans for improvement in the EA marketing and educational programs The organization works with other states to share ideas for creating an atmosphere for active involvement and participation in EA Program and activities across the enterprise The EA Maturity Model and the EA Assessment survey, together make up the EA Readiness/Maturity Assessment tool. The survey will help an organization assess their current Enterprise Architecture situation. When used with this model and the Enterprise Architecture Development Tool-Kit, a roadmap can be put in place to move the organization toward the goal of architecture vitality.
13
Summary
Long term benefits in mature and maturing organizations There are many steps along the way and an organization may find that not all of the areas fit neatly within the lines. Maturity within the architecture framework will vary across the business architecture processes, technology architecture, as well as the architecture blueprint. This is an ever-evolving process in the life of all organizations that leads to an efficient, effective responsive development and support organization. The NASCIO Tool-Kit is a development guide, illustrating basic Enterprise Architecture methodology. It contains templates to be used in the Architecture process and samples of real cases, which were compiled from the input of several state and county representatives. It is through the enterprise architecture frameworks and framework elements that the NASCIO Tool-Kit provides state and local governments the means to apply adaptive enterprise architecture, which aids in a structured and consistent delivery of services and information. The architecture blueprint is not a document that you produce once, store on the shelf and reference on occasion. It is a plan and a methodology; it must be both or it has no value. Just as with city plans and building codes, it is constantly being renewed and updated to meet the demands on the organization. There will be good decisions and bad decisions on the way, but having the information surrounding the decisions captured allows for better analysis for future decisions. We encourage you to use all the tools developed under NASCIOs guidance. Enterprise Architecture is a key success factor to an organizations ability to plan and react to the many mandates and challenges presented to international, federal, state, and municipal officials involved in information resource management.
14
Reference Material
NASCIO Enterprise Architecture Development Tool-Kit, v2.0 July 2002 http://www.nascio.org/pressReleases/02_tool-kit02.cfm NASCIO 167 W. Main Street, Suite 600 Lexington, Kentucky 40507-1324 Ph# 859.231.1971 Fax# 859.231.1928 Email: nascio@amrinc.net Website: www.nascio.org A Systems Engineering Capability Maturity Model, Version 1.1; November 1995 / SEI-95-MM-003 http://www.sei.cmu.edu/about/website/indexes/siteIndex/siteIndexTRnum.html A Framework for Assessing and Improving Enterprise Architecture Management (Version 1.1); November 1995 / GAO-03-584G http://www.gao.gov/new.items/d03584g.pdf
15
CONTRIBUTORS
ARCHITECTURE WORKING GROUP CONTRIBUTORS
Chair & Members Chair & Members Chair & Members Tool-Kit/Portfolio Sub-committee Implementation Sub-committee Intergovernmental/Interoperability Sub-committee Chair Chris Pichereau (IN) Chair Jennifer Witham (ND) Chair Mike P. Ryan (MN)
NASCIO STAFF
Elizabeth Miller Executive Director Telephone: 859-514-9171 evanmeter@amrinc.net Telephone: 859-514-9212 mtrail@amrinc.net Telephone: 859-514-9215 vhavens@amrinc.net Telephone: 859-514-9189 esweden@amrinc.net
Matthew Trail
Assistant Director
Vince Havens
Program Manager
Eric Sweden
Enterprise Architect
NASCIO HEADQUARTERS
National Association of State Chief Information Officers 167 West Main Street, Suite 600 Lexington, KY 40507-1324 Telephone: 859-231-1971 Fax: 859-231-1928 www.nascio.org
16